Audit Report on the Management and Safeguarding of City Records and Historical Archives By the Department of Records and Information Services
AUDIT REPORT IN BRIEF
We performed an audit of the management and safeguarding of City records and historical archives by the Department of Records and Information Services (Department of Records). The Department of Records is responsible for managing, processing, and preserving records and other materials in its custody produced by past and present City governments.
This audit determined that, with the exception of the weaknesses noted below, the Department of Records generally complies with its Charter mandate and satisfactorily manages and safeguards City records and reference materials under its jurisdiction. The Department also has established policies and procedures and implemented controls to adequately manage those materials.
The Department has an ongoing problem with limited storage capacity at its storage facilities. Its Brooklyn facility has some environmental and security concerns that could pose a threat to records stored there. The Department also permitted the Reference Center to store depository items in public access areas and did not require the Reference Center to have a central database of all materials and to update its shelf-list to accurately reflect its holdings.
The Department of Records did not have updated written procedures pertaining to the transfer and lending of materials to outside organizations. Also, the Department did not have a comprehensive policies and procedures manual for its Municipal Archives division, and had not updated the policies and procedures manual for Records Management and the Reference Center.
To address these issues we make 14 recommendations. Among the major recommendations are that the Department of Records should:
Develop written procedures pertaining to the transfer and lending of materials to outside organizations.
Ensure that Municipal Archives develops a comprehensive policies and procedures manual that addresses all processes and functions involved in the management of historical archives, including environmental controls, housekeeping, disaster preparedness, security, and the transfer, lending, and safeguarding of historical documents.
Ensure that Records Management and the Reference Center revise their polices and procedures manual to include environmental controls, housekeeping, disaster preparedness, security, and the safeguarding of historical documents. In addition, each manual should be periodically reviewed and updated to reflect current policies and procedures.
Ensure that broken and poorly insulated windows, window shades, and leaking pipes are repaired or replaced at the Brooklyn facility.
Review existing environmental needs and controls in its storage facilities and devise a plan to improve these conditions, especially in areas housing extremely delicate, old, unique, and irreplaceable documents and materials.
In the Reference Center, ensure that all depository items are removed from public access areas and stored in non-public areas.
Meet with the building management of the Brooklyn facility to discuss and develop security procedures for safeguarding of City records and archives kept there.
The matters covered in this report were discussed with officials from the Department of Records during and at the conclusion of this audit. On November 21, 2002, we submitted a draft report to Department of Records officials with a request for comments. In its response, the Department agreed with 13 audit recommendations and disagreed with one (#2).
We also provided a draft report to officials of the Rudolph W. Giuliani Center for Urban Affairs and received written comments from them. In consideration of comments made by both the Department of Records and the Giuliani Center, we have made modifications to this report. The full text of the comments of the Department and the comments of the Giuliani Center appear in their entireties as addenda to this report.